Form N-PX-NT/A Filings

What Is SEC Form N-PX-NT/A?

SEC Form N-PX-NT/A is an amended annual Form N-PX notice filed by an institutional manager. It is generally used when a previously filed notice report needs to be corrected or updated for a reporting period ending June 30. Under the amended Form N-PX framework, institutional managers file notice reports when all reportable votes are reported by other reporting persons, when they did not exercise voting power, or when they have a clearly disclosed policy of not voting and did not vote during the period.

This form is typically filed when an institutional manager needs to revise a previously submitted Form N-PX-NT for the same annual reporting period. Because it amends an earlier notice filing, it remains part of the annual proxy voting reporting framework tied to Form N-PX, with annual reports generally due by August 31 for the most recent twelve-month period ended June 30. It is filed electronically through EDGAR.

Form N-PX-NT/A helps maintain the accuracy of public proxy voting notice disclosures by allowing institutional managers to amend previously submitted notice reports. When an amendment is filed, users may compare the amended notice with the original filing to understand what information was corrected or updated.

Key elements typically found in SEC Form N-PX-NT/A include:

• Name of the institutional manager and identifying information
• Amendment designation for the filing
• Reporting period covered by the notice report
• Explanation that all reportable votes are reported by other reporting persons, if applicable
• Explanation that the manager did not exercise voting power for any reportable voting matter, if applicable
• Explanation that the manager had a clearly disclosed policy of not voting and did not vote during the reporting period, if applicable
• List of other persons reporting to the manager, when required
• Authorised signature and filing through EDGAR

SEC Form N-PX-NT/A Filing Deadlines

SEC Form N-PX-NT/A is filed within the annual Form N-PX reporting framework. While the underlying Form N-PX reporting period ends June 30 and annual reports are generally due by August 31, an amendment to a notice report is filed as needed when corrections or updates are required.

Key Things to Know About Form N-PX-NT/A Filing Rules

• Amendments Apply to a Prior Notice Report: Form N-PX-NT/A is used to amend a previously filed Form N-PX-NT for a specific annual reporting period.
• Notice Reports Are Used in Limited Circumstances: Institutional managers use the notice report format when all reportable votes are reported by other reporting persons, when they did not exercise voting power for any reportable voting matter, or when they have a clearly disclosed policy of not voting and did not vote during the reporting period.
• Annual Reporting Timing Still Applies: Form N-PX reports for institutional managers are generally due not later than August 31 for the most recent twelve-month period ended June 30, while amendments are made as needed to correct previously filed notice reports.
• Filed Electronically Through EDGAR: The submission type is recognised in the SEC’s EDGAR filing system as part of the Form N-PX reporting framework for institutional managers.
• Amendments Preserve Accuracy of Public Notice Records: An amended notice report helps keep the manager’s public filing record accurate without converting the filing into a full proxy vote report.

SEC Form N-PX-NT/A is an amendment filing used by institutional managers to revise previously submitted proxy voting notice reports under Form N-PX-NT. It aligns with filings tracked in SEC Annual Reports, while analysts reviewing disclosures may also use our platform to compare amended reports across the SEC issuer list.